THE UNIVERSITY OF THE STATE OF NEW YORK
The State Education Department
Office of Elementary, Middle, Secondary and Continuing Education
Office of Workforce Preparation and Continuing Education
Workforce Development Team
Albany, New York 12234
May, 2000

Foreword iii
What is Apprenticeship? 2
Who is a DLEA? 3
What are the Responsibilities of the DLEA? 3
ARSIP 5
Acronyms 6
Definitions 6
Apprenticeship Programs in NYS Correctional Facilities 8
Vocational Apprenticeship Programs in Correctional Facilities 9
Non-Vocational Apprenticeship Programs in Correctional Facilities 10
Memorandum: Inmate Program Associates 11
Laws Regulating Apprenticeship 13
National Laws 13
State Laws (Labor) 14
State Laws (Education) 16
Rules and Regulations of the Board of Regents 18

Forms 21

Form AT-8 21

Form AT-401 22

Form ARSIP-1 24

Appendices

1. Form AT-8 26
2. Form AT-401 27
3. Related Instruction Credits for Previously Completed Occupational Education Courses in Various Occupational Education Schools 29

5. Sample Letter for Relation Instruction Available 31
6. Changes in Apprenticeship Related Instruction 32
7. Suggested Standards of Attendance 34
8. Issuance of Certificates of Completion 36
9. Apprenticeship Related and Supplemental Instruction Program (ARSIP-1) 37

Apprenticeship training is one of the oldest and most traditional methods of providing career education. Training is provided on the job in concert with classroom-related instruction to augment the skill training.

In 1970, the State Education Department first instituted a policy of administering the related instruction program through local regional centers, known as DLEA's (Designated Local Education Agency). The procedure for assigning apprentices to and supervising related instruction in this manner strengthened the program in that it put the decision making on the local level. Because the Department still retained the overall responsibility for administering the program, a procedure for effecting a complementary relationship from the state to the local level was established.

Since that time, though the overall procedure has proven effective, it has become necessary to provide a descriptive bulletin to serve as a uniform guide for all concerned state and local apprenticeship training officials. This handbook is published for that purpose.

 _____________________________________________________________________________

Apprenticeship is the process of learning a skilled trade through training on the job (practical experience) plus acquiring the related technical knowledge, usually in a classroom. In many instances, a high school or equivalency diploma is required.

The length of training in an apprenticeship program varies from one to six years, depending on the trade. More than 300 apprenticeable occupations offer training through an apprenticeship program in New York State. Training is given under the guidance of experienced instructors. Apprentices usually start at about 40% of the craft workers' prevailing wage rate with increases every six months until training is completed. They then can receive the full craft workers' wages.

Related instruction is taken typically in the evenings or weekends outside working hours in a classroom setting. A minimum of 144 hours per year of related instruction is required in a program.

Apprenticeship opportunities depend on industry needs. However, in all cases, openings are filled without regard to race, creed, national origin, sex, disability, marital status, or age.

The Designated Local Education Agency (DLEA) is the local regional center responsible for administering the related instruction programs for all apprenticeship programs in that region. One DLEA is appointed for each county in New York State. The Commissioner of the State Education Department appoints DLEA's. In most instances, a BOCES or vocational center has been appointed as the DLEA. The Superintendent (or administrator in charge) of each regional center then selects the specific person responsible for overseeing related instruction for a region. 

The DLEA for each county of the state shall provide related and supplemental instruction for apprentices either directly or indirectly by contract with one or more other provider agencies.

Each DLEA is responsible for processing apprentices in the county of designation and for reporting to the Commissioner of Labor on the availability of related and supplemental instruction programs for apprentices in such county.

Each DLEA is responsible for reviewing and monitoring all related and supplemental instructional programs for apprentices offered by provider agencies and other organizations in such county. Annual visits are expected. Each DLEA shall also be responsible to submit such periodic reports of the results of its review and monitoring of approved related and supplemental instructional programs as the Commissioner of Education may require.

Each DLEA is responsible for checking the Computer Printout of Active Apprentices. Twice annually the State Labor Department makes an updated printout of active apprentices available to the Education Department. This list is immediately distributed to the DLEA's for the purpose of updating their files. The "active" files of each DLEA should be checked against this list and all AT-401 Forms which cannot be accounted for should be pulled.

Each DLEA is responsible for maintaining a file system of past and active apprentices. A suggested file system for the DLEA would include four sections:

1. Active - apprentices currently enrolled in related instruction
2. Inactive - cancellation, suspension, quit, layoffs
3. Completion - fulfilling of all OJT and related instruction
4. Pending - new apprentices coming into program.

Each DLEA is responsible for compiling data on active apprentices in such county regarding total hours of related instruction provided to these apprentices in a year (July 1 through June 30). Data is then to be reported to the New York State Apprenticeship Coordinator at the State Education Department no later than August 31^st each year (see Appendix 9).

Each DLEA is responsible for the distribution of Apprenticeship Related and Supplemental Instruction Program (ARSIP) monies provided to their county from State funding sources. The DLEA shall use such funds for the costs of providing related and supplemental instruction, including salaries, benefits, administrative costs, equipment and materials, and supplies.

The Apprenticeship Related and Supplemental Instruction Program (ARSIP) is supported by an annual appropriation of the State Legislature. This annual appropriation is a reimbursement helping to defray administrative costs that a DLEA incurred to operate the related and supplemental instruction program, and helping to reimburse the DLEA and other providers for a portion of classroom instruction that was provided.

Funds to the DLEA for apprenticeship are calculated based on the DLEA's submission of the ARSIP 1 Report (see APPENDIX 9), which is sent to the DLEA in the summer following the program year. The program year for which data are submitted begins on July 1 of the previous year and ends on June 30 of the current year. For example, the ARSIP 1 Report for 1998 is for the program year beginning July 1, 1997 and ending on June 30, 1998. Please note that ARSIP, unlike many other education programs, provides funds for services already provided. In addition, as specified in Section 3610 of Education Law, the funds provided cannot exceed fifty percent of the total cost for instruction. This reflects legislative intent to have related and supplemental instruction costs borne by sponsors other than the State.

Appendix A is the New York State approved outline for the on-the-job training portion of an apprenticeship program.

Appendix B is the New York State approved outline for the related instruction portion of an apprenticeship program.

Hour of instruction means 60 minutes of participation in an approved related and supplemental instruction program for apprentices, including supervised correspondence courses or supervised home study activities.

Cost of the program means the total value of funds and services from private, local, State and Federal sources used to support the related and supplemental instructional program for apprentices during the current year.

Local education agencies means school districts, boards of cooperative educational services and postsecondary institutions which are eligible for funding under the Carl D. Perkins Vocational Education Act.

Provider agency means a school district, board of cooperative educational services, a postsecondary institution or a licensed or registered school pursuant to Section 5001 or 5002 of the Education Law which provides related or supplemental instruction for apprentices.

Area served by a designated local education agency means the county or counties for which such agency is designated pursuant to Section 160.4 of this Part of the Commissioner's Regulations.

Processing apprentices means reporting to the Commissioner of Labor on the status of all apprentices who participate in approved related and supplemental instructional programs offered by provider agencies and other organizations in a county.

A variety of Department of Labor Apprenticeship Programs are offered to inmates incarcerated in facilities operated by the New York State Department of Correctional Services (DOCS). They essentially fall into two categories: vocational and non-vocational.

Regarding vocational apprentices, as of January 2000, nineteen different vocational apprenticeships, ranging from automobile mechanic to welder (see page 9), are actively pursued by more than 400 inmates who are enrolled in vocational training programs. These apprenticeships were created by agreement with the Department of Labor. For the purposes of the Department of Correctional Services, the Director of Education at DOCS serves as the DLEA. Curricula for the participating programs were compared with the work processes and related instruction requirements for the various apprenticeships and have been deemed compatible. The inmate students make application and conduct correspondence to the Department of Labor through the DOCS' Central Office. The apprenticeship courses are taught by instructors certified by the State Education Department as Vocational Instructors.

The non-vocational apprenticeships, such as Counseling Aide, Teacher Aide and others (see page 10) are administered by DLEAs located in the regional BOCES and the Department of Labor regional contacts. The training outlines for these apprenticeships were developed through cooperation between correctional facility staff and DOL representatives. All applications and correspondence for non-vocational apprenticeships are routed through the Supervisor of Volunteer Tutors at each participating facility who provides the oversight of the apprenticeships on a daily basis.

Vocational Apprenticeship Programs in Correctional Facilities
(monitored by the NY State Department of Corrections)

Welding starts the series 900-940 for new apprenticeship job titles

[also known as Inmate Program Associate -- IPA]

(monitored by SED appointed DLEA for the county)

• Teacher Aide Apprentice
• Counseling Aide Apprentice (Social Living Skills I)
• Counseling Aide Apprentice (Social Living Skills II)
• Counseling Aide Apprentice (HIV)
• Counseling Aide Apprentice (Orientation)
• Counseling Aide Apprentice (Reception)
• Counseling Aide Apprentice (ASAT)

TO: Deputy Superintendents for Program Services
FROM: Dr. Raymond Broaddus, Deputy Commissioner
SUBJECT: Utilization of Inmate Program Associates (IPA's)
DATE: June 8, 1998

At recent meetings of Deputy Superintendents for Program Services, the issue of "inmate run programs" was raised.

The use of qualified, well-trained and adequately supervised inmates to assist in programming is something that has occurred in our facilities for many years. In recent years however, as the Department workforce has been reduced, a number of abuses of this activity have occurred which give the impression that we are "replacing" Program Services staff with inmates.

While perhaps understandable in terms of our need and desire to program the maximum

number of inmates, "inmate run programs" are not consistent with the Department’s goal of providing high quality, programming with professional staff.

Inmate Program Associates are to assist staff in providing programs and, although IPA’s are a valuable and necessary component of the provision of Program Services in our facilities, they are only to be utilized under the direction and supervision of a staff person.

The following guidelines are to be followed when involving IPA’s in programming:

1. Every IPA must receive the prescribed orientation and training defined in the "Inmate Program Associate Policy and Procedures Manual" developed by the Central Office, Division of Education. This training includes not only the pre-service training detailed in the manual, but also the defined period of on-the-job training.

The only way IPA’s can be successful is for them to be carefully screened, well trained, continually supported and assisted by trained professioNALS and adequately supervised. Regardless of their assignment, every inmate who functions as an IPA must be appropriately oriented and trained.

2. Staff will define the curriculum or content of the program as well as any work or assignments required of the participants.

For example, in the academic pull-out component, the students’ classroom teachers define specifically what is to occur in the "pull-out" area. This may include one-on-one tutoring to remediate specific skills as determined by the classroom teacher; leading large-group discussions relevant to classroom instructional activities; facilitating the discussion related to a video or other type of presentation, and other related activities as needed.

Likewise, in the Pre-Release Program, trained IPA’s might provide information to participants in a number of "life skills" or employment-related areas or assist participants in preparing applications for a social security card, birth certificate, etc. However, all of these activities are defined by the Correction Counselor or other staff responsible for the Pre-Release Program.

3. Staff will develop the student/participant evaluation procedures and conduct evaluations to determine the participants’ progress and/or completion of the program.

No IPA is to be put in a situation where he/she evaluates another inmate’s progress in a particular program or determines whether or not another inmate successfully completes the program.

4. IPA’s must always work under the supervision of a civilian or security staff person.

This does not mean that a staff person must be in the room where the activity is taking place. However, a staff person must always be in the general area of the activity and must periodically check in on what is occurring in the room.

Because IPA’s are used in a wide variety of settings within the facility, the Deputy Superintendent for Programs, in consultation with the Deputy Superintendent for Security, is responsible for ensuring that adequate and appropriate supervision are provided.

5. Prior to instituting a new program or a component of an existing program utilizing IPA’s, the Deputy Superintendent for Program Services is to meet with appropriate local union representatives to present the plan and provide opportunity for comments or suggestions related to the operation of the program.

• The National Apprenticeship Act (50 Stat.664:29 U.S.C. 50) also known as the Fitzgerald Act is a federal law authorizing the U.S. Secretary of Labor to establish standards for apprenticeship, to encourage employers and labor for the formulation of programs of apprenticeship and to cooperate with State agencies engaged in the formulation and promotion of standards of apprenticeship.
• Based on the authority conferred in the National Apprenticeship Act the U.S. Secretary of Labor has issued Labor Standards for Registration of Apprenticeship Programs in the form of rules and regulations (Federal Register, Vol. 42, No. 34). Key provisions of these Regulations dealing with related instruction are:

Article 23 of the New York State Labor Law declares that it is state policy to develop sound apprenticeship standards. The Labor Commissioner by law has the responsibility of carrying out this policy which he effects through the New York State Department of Labor, Bureau of Employability Development - Apprenticeship Unit (BED). The BED provides services to apprentices, industry, and organized labor through staff located in local district offices throughout the state.

By law the responsibility for providing related classroom and supplemental instruction (RI) is assigned to the State Education Department. The Office of Workforce Preparation and Continuing Education administers related instruction to apprentices through various Designated Local Education Agencies (DLEA's) such as Boards of Cooperative Educational Services (BOCES) or city school districts. The DLEA's administer the program locally and offer instruction directly or through postsecondary institutions and private agencies.

Some apprentices are enrolled by the Federal Bureau of Apprenticeship and Training (BAT). In these cases the DLEA follows the same procedure using the same forms but their labor department contact is the Federal BAT representative.

State Labor and Education Law and regulations further define the operation of apprenticeship programs in New York State. Relevant citations include:

• Article 23, Section 811.1 (j) of New York State Labor Law authorizes the Commissioner of Labor to establish standards for the operation of apprenticeship programs in New York State. To implement this legislation, Part 601 of the Regulations of the Commissioner of Labor were promulgated.

• New York State Education Law Title 1, Article 5 Section 207 provides the State Board of Regents with legislative power over education. It states: "Subject and in conformity to the constitution and laws of the state, the regents shall exercise legislative functions concerning the educational system of the state, determine its educational policies, and, except as to the judicial functions of the commissioner of education, establish rules for carrying into effect the laws and policies of the state, relating to education, and the functions, powers, duties and trusts conferred or charged upon the university and the education department."

Article 73 Section 3610 provides the rules for apportionment for apprenticeship training.

1. Apprenticeship training programs.

Local education agencies which provide related or supplemental instruction to apprentices registered by the state department of labor pursuant to article twenty-three of the labor law shall be eligible for an apportionment pursuant to the provisions of this section for the operation of apprenticeship training programs as approved by the commissioner. Priority shall be given to local education agencies which provide for an increased number of participants in the related or supplemental instructional component of apprentice-training programs. Designated local education agencies may provide such programs directly, or by contracting with school districts, boards of cooperative educational services and other providers of apprentice-training services, including postsecondary institutions and other providers authorized to confer degrees in this state or in which the course of instruction is licensed, registered or approved pursuant to any provision of this chapter.

2. Apprenticeship training hours.

For the purpose of computing an apportionment under this section, apprenticeship training hours shall be the total number of hours of related or supplemental instruction given all apprentices in approved apprenticeship training programs in the area served by the designated local education agency between July first and June thirtieth of the base year as reported to the commissioner by September first of the current year.

3. Maximum apportionment per hour.

For aid payable for school year nineteen hundred ninety-one and thereafter, this apportionment shall be at the rate of one dollar per training hour.

4. Apprenticeship training program apportionment.

The apportionment pursuant this section shall be the product obtained when the apportionment per hour is multiplied by the number of apprenticeship training hours of the designated local education agency.

5. State aid.

No designated local education agency may receive under the provisions of this section an amount which when added to all other state aid received by such designated local education agency for the purpose of this section, exceeds one-half the cost of such program in that year. Notwithstanding any provision of law to the contrary, if the total aid received exceeds one-half the cost of the program, any state aid payable to the designated local education agency shall be reduced in the amount of such excess.

6. Apprentices.

Apprentices in apprenticeship training programs shall not be included in any attendance count of this article and shall not generate aid under any other provisions of this chapter.

7. Apportionment for administrative costs.

The commissioner may adopt regulations to implement any of the provisions of this section.

Based on the statutory authority of Sections 207 and 3610 of Education Law, Part 160 of the Rules and Regulations of the Board of Regents and the Commissioner of Education was promulgated describing the conduct of Related and Supplemental Instruction for Apprentices. Included in this Part are the following provisions:

1. Current year means the school year during which the apportionment is to be paid.
2. Base year means the school year immediately preceding the current year.

1. The instructional program shall have clearly stated instructional goals.

1. The total number of hours of related and supplemental instruction for apprentices in approved apprenticeship training programs in the state shall be computed by adding the hours of instruction reported by all designated local education agencies in the state pursuant to section 160.7 of this Part.

1. By September first of the current year, each designated local education agency shall report to the commissioner the number of apprentices it processed during the base year, the total number of hours of related and supplemental instruction it provided directly to apprentices during the base year (July 1 through June 30), the total number of hours of related and supplemental instruction that were provided to apprentices by provider agencies and other organizations in approved programs within its area of service during the base year, and the total cost of such instruction provided directly or by provider agencies and other organizations to apprentices during the base year. (b) Beginning September 1, 1987, and each September first thereafter, the reports required by subdivisions (a) and (c) of this section shall also include a description of the actual uses made of the State funds appropriated for related and supplemental instruction for apprentices for the base year.

A federal Veterans Administration directive indicated that no new apprentice training programs would be approved for veterans unless the related instruction component is available. The BED extended this requirement to include all apprenticeship programs registered in New York State whether serviced by BED or BAT. Thus, as of February 19, 1975 no new apprenticeship training programs have been registered unless the RI component is available.

The purpose of Form AT-8 is to determine in advance whether related instruction will be available for a prospective new program. When a sponsor wishes to register an apprenticeship program, the BED must establish through contact with the DLEA that related instruction will be made available. Thus, no action will be taken for registering a program unless DLEA notifies the BED of the availability of RI through the AT-8 Form.

In some cases when a new program or location is being considered, it may be necessary for the DLEA to review the curriculum, facilities and staff qualifications before approving a second location.

The local district office of the BED assists industry and organized labor in the development of apprenticeship programs and initiates action to register apprenticeship programs. When an interest in sponsoring a program is determined, the BED completes their portion of Form AT-8.

Procedures for Processing Form AT-8

After a sponsor indicates to the Bureau of Employability Development - Apprenticeship Unit the desirability of registering a new apprenticeship program, the BED completes its portion of the AT-8 and transmits it to the DLEA.

Related Instruction Not Available

After the AT-8 verifies the availability of related instruction, industry and organized labor recruit and register apprentices with the BED. The BED then requests Related Instruction of the DLEA designated by the NY State Education Department's Office of Workforce Preparation and Continuing Education to provide that service.

An apprentice who has satisfactorily completed an approved trade or technical education program of at least two years in length may receive credit for the related instruction required in their apprenticeship training program. The apprentice, upon their application for related instruction to the DLEA, should be notified of this procedure. They should present a transcript and diploma from the school they attended showing that they satisfactorily completed a particular trade or technical education program. In order to be considered for credit, the trade or technical education program must be in the same trade in which the apprentice is working. If these requirements are satisfied, the DLEA will indicate on the apprentice's Form AT-401, line item 4, that related instruction credit has been granted.

• Note, as indicated in the APPENDIX 3, the sponsor may require the apprentice to participate in related instruction.

Suggested Form for Tracking Course Completions⁴

(see Appendix 4)

The DLEA is responsible for notifying the apprentice in writing (copy to the employer) where and when related instruction will be available. This is to be accomplished at the time the Form AT-401 is processed by the DLEA

With the approval of the DLEA, an apprentice may select their own school from the list of approved correspondence schools. In these cases, the apprentice would make their own contacts, arrangements and payments.

At the completion of each course the apprentice shows the DLEA official written evidence from the school of satisfactory course completion unless other arrangements are available (see APPENDIX 4).

It is the DLEA's responsibility to insure that the method chosen insures that the apprentice:

• annually receives the required amount of instruction from the provider(s) available to provide such instruction. 144 hours of related instruction are required annually for all registered apprenticeships in New York State and certain apprenticeships require more than 144 hours;
• receives instruction that faithfully follows the topics in Appendix B (see definition, page 6). This should be determined by comparing the topics that will be taught by a particular provider with the topics found in Appendix B;
• is taught by someone having requisite skills to provide such instruction;
• the DLEA will be able to verify student attendance and progress in learning the subject matter found in Appendix B.

The DLEA should annually receive documentation that the registered apprentice has attended the required related instruction and has made satisfactory progress. Such documentation may include attendance records, certificates issued to the apprentice or grade report. In instances in which no information is received for an apprentice by October 1 of the year following the year in which related instruction was to be taken, the DLEA shall notify the DOL representative that no information has been received to document the apprentice's participation and satisfactory progress in related instruction.

When an apprentice is cancelled, suspended or completes the on-the-job portion of his apprenticeship, the district office of the BED transmits its copy of Form AT-401 to the DLEA with the date of cancellation, suspension or completion noted in all instances.

Cancellation is effected when an apprentice fails to live up to the terms of their training agreement. Suspension occurs when an apprentice through no fault of their own is forced to temporarily terminate their training. This should be noted on the AT-401 Form.

Upon receipt of the AT-401 form from DOL, copy of DLEA's 401 should be completed and filed. Section III of AT-401 is to be completed by DLEA and returned to DOL within 30 days.

• Note - Hour of instruction means 60 minutes of participation in an approved related and supplemental instruction program for apprentices, including supervised correspondence courses or supervised home study activities.

The DLEA evaluates the transcript information submitted by the student and allows credit at the rate of 24 hours per each semester credit hour of work toward the required 144 hours per year (i.e. 6 credit hours = 144 clock hours).

Credit allowed must be applicable and helpful to the specific trades designated.

In June of each year, the New York State Apprenticeship Coordinator at the State Education Department will mail ARSIP-1 forms to each DLEA. Each DLEA is responsible for compiling data on all active apprentices in their county, including total hours of related instruction received during the past school year and total number of active apprentices in a program. Additional data, such as program costs, must also be reported on this form. The ARSIP-1 form is then submitted to the State Education Department no later than September 1^st.

APPENDIX 1

Form AT-8

APPENDIX 2

Form AT-401

APPENDIX 3

RI Credits for Previously Completed Courses Memo

APPENDIX 4

Sample Letter

APPENDIX 5

Changes in Apprenticeship Related Instruction

APPENDIX 6

Suggested Standards of Attendance

APPENDIX 7

Issuance of Certificates of Completion

APPENDIX 8

ARSIP-1 Form